<html><head><title>Vol 4, Part 5, Chapter 7</title>

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</font><p><font font="" face="Arial, Helvetica, sans-serif" size="2"><b>Chapter 7</b></font></p>
<p><font font="" face="Arial, Helvetica, sans-serif" size="2"><b>PATENT, INVENTION, AND COPYRIGHT POLICY</b></font></p>
<p><font font="" face="Arial, Helvetica, sans-serif" size="2"><a name="anchor1"></a><b>Section 1. Patent and Invention Policy</b></font></p>

<ol type="A"><font font="" face="Arial, Helvetica, sans-serif" size="2"> 
<li>This policy covers both patented and nonpatented innovations, including computer 
  software with commercial value, and is applicable to all faculty, staff, and 
  students. The policy is intended to show the University's positive attitude 
  toward transfer of results of its research to the private sector.</li>
</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>The purpose of university research is to seek new knowledge for the general 
    benefit. Although university research is not directed intentionally toward 
    inventions, commercially valuable inventions do often result, and it is generally 
    in the best interests of the University and the public that patents be obtained 
    and/or licenses granted as described in this policy. Inventions shall be promptly 
    reported to the University's Office of Intellectual Property and Technology 
    Transfer and all concerned shall cooperate to assure prompt initiation of 
    appropriate technology transfer actions. The term "invention" means any invention 
    or discovery which is or may be patentable or otherwise protectable as to 
    ownership. An invention may be a process, machine, manufacture, composition 
    of matter or design, or any new or useful improvement thereof. An invention 
    is deemed to be "made" when it is conceived or first actually reduced to practice. 
  </li>
</font><p></p>
<li><font font="" face="Arial, Helvetica, sans-serif" size="2">University employees shall report all inventions and discoveries to the 
  University's Office of Intellectual Property and Technology Transfer. As a condition 
  of employment, and even if a specific patent agreement is not signed, University 
  employees agree to assign all inventions in which the University has an interest 
  to the University, to an invention management agency designated by the University, 
  or to the sponsor if required under agreements governing the research. Employees 
  shall execute documents of assignment and do everything reasonably required 
  to assist the assignee(s) in obtaining, protecting, and maintaining patent or 
  other proprietary rights. Students who are also employees, students working 
  on a sponsored project, and students who have used University resources (other 
  than for lecture-based coursework) shall also report all inventions and discoveries 
  to the University's Office of Intellectual Property and Technology Transfer 
  and shall assign all such inventions and discoveries in the same manner as University 
  employees. Inventions in which the University has an interest but which do not 
  meet University criteria for patenting shall be managed in accordance with policies 
  and procedures determined by the University Office of Intellectual Property 
  and Technology Transfer. If and to the extent permitted by state law and other 
  University policies, those procedures may include: (a) a mechanism by which 
  the inventor(s) may personally pay patenting costs; (b) the formation of a commercial 
  enterprise to pursue commercialization; and, under very rare circumstances, 
  (c) the transfer, for appropriate consideration, of the patent rights to the 
  inventor(s). These procedures shall be implemented at the discretion of the 
  Vice Provost for Intellectual Property and Technology Transfer.
  
</font><p><font font="" face="Arial, Helvetica, sans-serif" size="2">Although all inventions and discoveries must be reported to the Office of Intellectual 
  Property and Technology Transfer, there are instances when the University may 
  choose not to assert ownership. The University will not require assignment of 
  interests for any invention for which no equipment, supplies, facilities, or 
  trade secret information of the University was used and which was developed 
  entirely on the employee's own time, unless (a) the inventions related (i) directly 
  to the business of the University, or (ii) the University's actual or demonstrably 
  anticipated research or development, or (b) the invention results from any work 
  performed by the employee for the University.</font></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font><p></p>
</li><li><font font="" face="Arial, Helvetica, sans-serif" size="2">Research funded wholly or in part by an outside sponsor is subject to this 
  policy as modified by the provisions of the agreement covering such work. Employees 
  engaged in sponsored research are bound by the provisions of the agreement between 
  the University and the sponsor. Title to any inventions conceived or first reduced 
  to practice in the course of research supported by Federal agencies, industry, 
  or other sponsors shall generally vest in the University. In rare cases, an 
  industrial sponsor may possess a dominant patent position in a certain technology 
  area so that any patent the University might seek would be of little or no value. 
  For this or other reasons, an exception to the University title policy may be 
  approved by the University's Office of Intellectual Property and Technology 
  Transfer when to do so will honor the general principles of this policy, protect 
  the equities involved, and satisfy the requirements of the parties.</font></li>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font><p></p>
<li><font font="" face="Arial, Helvetica, sans-serif" size="2"> Industry supported research is valued by the University when it embraces 
  a proper balance between the University's educational mission and industry's 
  quest for the development of commercial products, processes, and services. Interaction 
  with industry may take any of several forms, including grants, contracts, consortia 
  agreements, and affiliate programs. Industry sponsors may be assured of at least 
  a non-exclusive license to inventions conceived or developed with their support. 
  Where the sponsor uses the invention entirely within its own operations, the 
  license may be royalty-free. Where the sponsor, or a third party, manufactures 
  and sells products, services, or processes based on the invention, reasonable 
  royalty payments to the University, or its assignee, are required. If necessary 
  for the effective development and marketing of a University invention, an exclusive 
  license may be granted, usually for a limited time period. Where an invention 
  is not identifiable in advance, the University may grant the sponsor an option 
  to an exclusive license if the sponsor agrees to finance the cost of the University's 
  patent application and observe certain diligence requirements that will assure 
  promptly bringing the invention into public use. The patent financing may be 
  treated as an offset against royalties payable when the invention is marketed.</font></li>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font><p></p>
<li><font font="" face="Arial, Helvetica, sans-serif" size="2">The University retains the right to file patents itself or to use other 
  patent management firms. The University has agreements with the Washington Research 
  Foundation, Research Corporation Technologies of Tucson, Arizona and Battelle 
  Development Corporation in Columbus, Ohio as patent and license agents.</font></li>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font><p></p>
<li><font font="" face="Arial, Helvetica, sans-serif" size="2">Both the University and the inventor are entitled to a share of income from 
  licensed inventions; the University on the basis of salary and facilities support 
  for the inventor and the cost of patent or license administration; and the inventor 
  on the basis of creative activity, documenting the invention, and assisting 
  as necessary with commercialization. Thus, the University allocates a share 
  of income to the inventor. The remainder is dedicated to further research by 
  allocating shares to the college/department (or other unit) in which the invention 
  was conceived or first reduced to practice and to the Office of the Provost.</font></li>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font><p></p>
<li><font font="" face="Arial, Helvetica, sans-serif" size="2"><a name="h"></a>The University may take an equity position in a company 
  whether or not license fees or royalties are paid to the University as part 
  of a negotiated agreement. A typical circumstance under which the University 
  might receive equity would be as part of an agreement licensing University-developed 
  technology to a start-up or developing business venture. Another example might 
  occur when an employee of the University utilizes the expertise and/or technology 
  he or she has developed in the course of University employment and assists a 
  business venture in the commercialization of an idea. (A business venture includes 
  corporations, partnerships, or other commercial enterprises.) Such a commercial 
  association with the University and its employees adds both value and credibility 
  to the new business venture. To assure a balance of interests for the business 
  venture as well as for the University, the University will generally require 
  that it receive an equity position in such circumstances. </font></li>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  
</font><p><font font="" face="Arial, Helvetica, sans-serif" size="2">The University's equity interests are managed and disposed of in accordance 
  with guidelines established by the Treasury Office in consultation with the 
  Office of the Provost and the policies and procedures stated in the <i>University 
  Handbook</i> and <i>Administrative Policy Statements</i>. University employees 
  may be eligible to receive a portion of the University's equity interest in 
  accordance with the policies and procedures described in the University's <i>Administrative 
  Policy Statements</i> and as allowed under state law and University conflict 
  of interest policies. When such equities are liquidated, the net proceeds, after 
  recovery of all University costs and after any distributions to eligible recipients, 
  accrue to appropriate University accounts and are administered by the Provost 
  to promote research and technology transfer across the entire University. If 
  the proceeds from the disposition of a particular equity interest are unusually 
  large, the Provost shall confer with the University Budget Committee, the Research 
  Advisory Board, or other appropriate faculty bodies, on alternative uses for 
  amounts in excess of a base figure (set at $3 million in 2000 dollars).</font></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  
</font><p><font font="" face="Arial, Helvetica, sans-serif" size="2">There may be situations in which both the University and its employees separately 
  own equity interests in a business venture. In such circumstances, the employee's 
  equity interest is considered to be independent of the University's equity interest 
  and is not held, managed, disposed of, or distributed by the University. An 
  example would be a case in which the University receives an equity interest 
  in a business venture as a result of licensing certain intellectual property 
  developed by one of its employees and in which the same employee also owns a 
  equity interest as a result of being a founder of the business venture receiving 
  the license. In this example, the employee's equity interest is not held or 
  managed by the University, but rather by the employee, and the employee's status 
  as a founder having an ownership stake in the business venture renders the employee 
  ineligible to receive a distribution of a portion of the University-owned equity.</font></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font><p></p>
<li><font font="" face="Arial, Helvetica, sans-serif" size="2">As a public institution, the University should undertake sponsored research 
  only when the results can be published. Publication may be deferred for a reasonable 
  time during which the University and the sponsor review the feasibility of patent 
  coverage or other protection on an invention described in the publication. Likewise, 
  graduate student theses or dissertations containing invention details may be 
  withheld from the Library shelves for a limited period while this evaluation 
  process is conducted. Some research agreements may involve University access 
  to a sponsor's proprietary data subject to a clause defining the conditions 
  under which such data will be identified, accepted, and used. Students should 
  be able to participate in such research in a meaningful way without access to 
  proprietary data. When publication of the research involving proprietary data 
  is contemplated, the University may agree to provide the sponsor with advance 
  copy prior to submission for publication to allow the sponsor an opportunity 
  to identify any inadvertent disclosure of proprietary data.</font></li>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font><p></p>
<li><font font="" face="Arial, Helvetica, sans-serif" size="2">Employee consulting with commercial enterprises can be of significant benefit 
  to the University, the employee, the commercial entity, and the general public. 
  However, such involvements include the potential for conflicts of interest, 
  for the inhibition of the free exchange of information, and for interference 
  with the employee's primary allegiance to the University. University employees 
  should be guided in these arrangements by the policy stated in Volume Four, 
  Part V, Chapters <a href="http://www.washington.edu/faculty/facsenate/handbook/04-05-02.html">2</a> and <a href="http://www.washington.edu/faculty/facsenate/handbook/04-05-06.html">6</a> 
  of the <i>University Handbook</i>. Invention clauses in consulting agreements 
  must be consistent with the policy of the University and with University commitments 
  under sponsored research agreements. Questions concerning potential conflicts 
  should be referred to the University's Office of the Provost and the Office 
  of Research.</font></li>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font><p></p>
<li><font font="" face="Arial, Helvetica, sans-serif" size="2">Conflicts of interest are of prime concern when a faculty member is involved 
  in "deeper than consulting" arrangements with business ventures. Although the 
  faculty member may hold an equity interest or a management position in a business 
  venture, he or she must do so consistent with the principles and procedures 
  of Executive Order 57 (<i>University Handbook</i>, <a href="http://www.washington.edu/faculty/facsenate/handbook/04-05-06.html">Volume 
  Four, Part V, Chapter 6</a>, Section 6, Involvement with Commercial Enterprise, 
  Deeper than Consulting). In situations where the employee is a board member, 
  manager, or receives shares of stock, the option to purchase stock, or other 
  equity interest in return for the use of his or her services and/or inventions 
  in a business venture, approval by the Office of the Provost (after review by 
  the dean and the chair) is required. The primary focus of the review by the 
  Office of the Provost will be to ensure that potential conflicts of interest 
  and exposure to liability are properly managed. For example, the interests of 
  the graduate students involved in such cases must be protected, there must be 
  no direct managerial involvement of the faculty member in the business venture, 
  there must be an arms-length relationship between the faculty member's responsibilities 
  to the business venture and the faculty member's academic responsibilities, 
  and mechanisms must be in place to ensure that the research program of the faculty 
  member is not distorted by his or her interests in the business venture.</font></li>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font></ol>

<p><font font="" face="Arial, Helvetica, sans-serif" size="2"><a name="anchor2"></a><b>Section 2. Copyright Policy</b></font></p>
<ol type="A">

<li><font font="" face="Arial, Helvetica, sans-serif" size="2">Background.</font></li>
<p><font font="" face="Arial, Helvetica, sans-serif" size="2">The University encourages the publication of scholarly works as an inherent 
  part of its educational mission. In this connection, the University acknowledges 
  the right of faculty, staff, and students to prepare and publish, through individual 
  initiative, articles, pamphlets, and books that are copyrighted by the authors 
  or their publishers and that may generate royalty income for the authors.</font></p>
<p><font font="" face="Arial, Helvetica, sans-serif" size="2">The variety and number of copyrightable materials that may be created in the 
  university community have increased significantly in recent years as have the 
  author-university- sponsor relationships under which such materials are produced. 
  Therefore, the following statement of University policy on ownership and use 
  of copyrightable materials is provided to clarify the respective rights of individuals 
  and the University in this increasingly important area. The policy will be administered 
  by the University's Office of Intellectual Property and Technology Transfer.</font></p>
<p></p>
<li><font font="" face="Arial, Helvetica, sans-serif" size="2">General Statement of University Policy on Ownership and Use of Copyrightable 
  Materials</font></li>
<p><font font="" face="Arial, Helvetica, sans-serif" size="2">University faculty, staff, and students retain all rights in copyrightable 
  materials they create, including scholarly works, subject to the following exceptions 
  and conditions:</font></p>
<ol type="1">
<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Grant and Contract Limitations. Conditions regarding rights in data or restrictions 
    on copyright privileges contained in sponsored grants, contracts, or other 
    awards are binding on the University and on faculty, staff, or student authors. 
    Copyright works, with the exception of routine progress reports, prepared 
    as required elements of such sponsored grants, contracts, or other awards 
    shall be reported to the Office of Intellectual Property and Technology Transfer 
    for review prior to any external dissemination of the work. If necessary to 
    fulfill grant and contract limitations, authors shall execute an appropriate 
    written assignment of copyrights to the University.</li>
	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>University-Owned Materials. Materials shall be "University-owned" within 
    the meaning of this policy statement if the work is a "work for hire" under 
    copyright law or the author was commissioned in writing by the University 
    (or one of its colleges, schools, departments, or other divisions) to develop 
    the materials as a part of the author's regularly compensated duties, as for 
    example, released time arrangements in the case of faculty members. As to 
    a faculty member, "commissioned in writing" specifically does not refer to 
    his or her general obligation to produce scholarly works.</li>
	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>University-Sponsored Materials. Materials shall be "University-sponsored 
    materials" within the meaning of this policy statement if the author developed 
    the materials in the course of performance of his or her normal duties and 
    utilized University staff, resources, or funding to develop the work. As to 
    a faculty member, "normal duties" does not include his or her usual scholarly 
    activity unless it involves extensive uncompensated use of University resources.</li>
	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Written Agreements. It is desirable to reach agreement in writing as to 
    the rights of the University and of participants before work begins whenever 
    (1) a question exists as to whether the materials will be University-owned 
    or University-sponsored, or (2) copyrightable materials are likely to result 
    from the joint efforts of persons in academic departments and University service 
    departments. As to jointly-developed materials, determination of rights in 
    written form shall be accomplished no later than prior to sale of the materials 
    in question. Questions concerning the interpretation and administration of 
    this policy shall be resolved in accordance with Section 3.</li>
	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Proportional Ownership. In case of materials developed in substantial part 
    under commission and in substantial part through other means, the materials 
    shall be regarded as "University-owned" in an appropriate proportion. In the 
    case of materials developed in substantial part during the course of normal 
    duties and with use of University staff, resources, or funding the materials 
    shall be regarded as "University-sponsored" in an appropriate proportion.</li>
	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Royalty-Free Privileges to University. The University retains a right to 
    royalty-free use of any copyrightable materials developed by University employees 
    (other than books and materials available from a publisher through normal 
    distribution channels) when the development of such materials was advanced 
    through the use of University facilities, supplies, equipment, or staff services. 
    This right exists even though the materials do not constitute University-owned 
    or University-sponsored materials as defined above (e.g., where use of facilities 
    by a faculty member was not extensive).</li>
	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Student Writings. Students employed by the University in any capacity are 
    covered by the terms of this policy. In addition, where a student receives 
    financial aid or remuneration under a sponsored research, training, or fellowship 
    program, his or her rights in copyrightable materials are limited by the terms 
    of the University agreement with the sponsoring agency. The University has 
    no ownership rights in copyrightable materials developed by students who are 
    not employees of the University or in materials unrelated to their employment.</li>
</font></ol>
<p></p>
<li><font font="" face="Arial, Helvetica, sans-serif" size="2">Types of Materials.</font></li>
<p><font font="" face="Arial, Helvetica, sans-serif" size="2">The types of materials to which this policy is intended to apply include:</font></p>
<ol>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Video and audio recordings, tapes, and cassettes.</li>
  <li>Film, film strips and other visual aids.</li>
  <li>Books, texts, study guides and similar published materials.</li>
  <li>Computer programs and software when copyright rather than patent or trade 
    secret protection is relied upon as the primary source of legal protection. 
    (When the primary commercial value of a computer program lies in its transfer 
    in limited quantities under arrangements of confidentiality, it shall be treated 
    as unpatented technology and be subject to the University Patent and Invention 
    Policy.)</li>
  <li>Musical or dramatic compositions.</li>
  <li>Internet-based productions and multimedia products.</li>
  <li>Other copyrightable materials.</li>
</font></ol>
<p></p>
<li><font font="" face="Arial, Helvetica, sans-serif" size="2">Rights Involved in use of University-Owned or University- Sponsored Materials.</font></li>
<p></p>
<ol>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Two categories of use are differentiated for purposes of this policy:  internal 
    use and external use. Internal use refers to use by any unit of the University 
    for instruction, research, or other educational purposes. External use refers 
    to use by other educational institutions, government and other nonprofit institutions, 
    and use resulting from lease or other contractual arrangements for commercial 
    distribution of the materials.</li>
	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Use of University-owned or University-sponsored materials under this policy 
    shall be subject to the following conditions:</li>
	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">	</font><ol type="a">
<font font="" face="Arial, Helvetica, sans-serif" size="2">    <li>Internal use</li>
	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">	</font><ol type="1">
<li><font font="" face="Arial, Helvetica, sans-serif" size="2"> Each instance of use of such materials within 
    the University requires the approval of the author and the department or college 
    unless advance approval is waived through a prior written understanding or 
    the author's consent is implicit in the terms of the grant or contract supporting 
    the work. Internal uses of such materials will not involve a transfer of funds 
    between departments unless the lending department incurs incremental costs 
    in order to make the materials available.</font></li>
<font font="" face="Arial, Helvetica, sans-serif" size="2">	</font><p></p>
<li><font font="" face="Arial, Helvetica, sans-serif" size="2">As long as the author or producer of such 
    materials remains an employee of the University, the author may: (a) request 
    reasonable revisions of the materials prior to any instance of internal use, 
    or (b) ask that the materials be withdrawn from internal use if revisions 
    are not feasible.</font></li>
<font font="" face="Arial, Helvetica, sans-serif" size="2">	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">    In cases where the University has invested significant funds in the production 
    of the materials and the author/producer is unable to agree with the department 
    head on appropriate revision or withdrawal of materials, the question will 
    be referred to the dean of the school or college for mediation.
	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">    <li>If the author or producer terminates employment 
    with the University, then the University retains the right to continue internal 
    use of the material unless the author/producer and the University agree in 
    writing on special conditions for subsequent internal use of the materials 
    and the procedures for their revision.</li>
	</font></ol>
<p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">    <li>External use</li>
	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">    Licensing or sale of University-owned or University- sponsored materials for 
    external use shall be preceded by a written agreement between the University 
    and the author or producer specifying the conditions of use, and including 
    provisions concerning the right of the author or producer to revise the materials 
    periodically, or to withdraw them from use-- subject to existing agreements--in 
    the event revisions are not feasible. 
</font></ol>
</ol></ol>
<p>
</p><ol start="5" type="A">
<li><font font="" face="Arial, Helvetica, sans-serif" size="2">Division of Royalties.
</font><p>
</p><ol>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>General Policy on Royalties. As to University-owned materials, all royalties 
    and income should inure to the University and its schools, colleges, and departments 
    as such materials are prepared in exchange for agreed compensation. As to 
    University-sponsored materials, a sharing of royalties and income is appropriate 
    because of the author's provision of creative efforts on the one hand and 
    the University's provision of salary, facilities, administrative support, 
    and other resources.</li>
	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Royalties on Sales to Outside Users. Where University-owned or University-sponsored 
    materials are to be sold or rented to outside users, the following guidelines 
    pertaining to financial arrangements should be observed (subject to any limitations 
    specified by granting agencies):</li>
	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">	</font><ol type="a">
<li><font font="" face="Arial, Helvetica, sans-serif" size="2">All incremental expenses related to the distribution of copies will be 
    recovered from each sale or rental. Original costs for production of the materials 
    shall be recovered only if and as agreed to in writing prior to preparation 
    of the materials by the author and the academic departments and/or other University 
    units which incur those costs.</font></li>
<font font="" face="Arial, Helvetica, sans-serif" size="2">	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">    <li>In the case of University-owned materials, royalty and other income from 
    sale or use of the materials (after recovery of costs as specified in 1.) 
    shall be divided one-half to the University and one-half to the school/college/department 
    of the author or authors. The University share shall be used to promote research 
    across the whole University and shall normally be administered by the Office 
    of Research. The school/college/department share shall be allocated to the 
    dean of the college or school, and may be used for research, education, and 
    communications. At least 75% of this share should normally go to the author's 
    department for use there according to departmental and college goals. The 
    dean should have discretion in distributing the remaining 25% to promote activities 
    according to the nature and needs of the college or school in question.</li>
	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">    <li>In the case of University-sponsored materials, royalty and other income 
    from the sale or use of materials (after recovery of costs as specified in 
    a.) shall be divided according to the Administrative Policy Statement 59.4, 
    "Technology Transfer." In any given case covered by this subsection, the author 
    may dedicate all or any portion of his/her allocation to the school/college/department, 
    the Office of Research, or other administrative unit, subject to the provisions 
    of Administrative Policy Statement 59.4).</li>
	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">    <li>In certain instances it may be advantageous to market University-owned 
    or University-sponsored materials through outside commercial sources or the 
    University Press. Net royalty income from such sources shall be divided as 
    specified in b. and c.</li>
	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">    <li>Royalty and other income from updating and revision of University-sponsored 
    materials shall be treated as income and royalty from such University-sponsored 
    materials, unless otherwise agreed to in writing by the author/producer and 
    the University before preparation of the original materials. The net income 
    from such upkeep or revision shall be separately computed on an annual basis 
    for the purpose of applying the distributions referenced in paragraph c.</li>
</font></ol></ol>
<p>
</p></li><li><font font="" face="Arial, Helvetica, sans-serif" size="2">Protection and Liability.
</font><p>
</p><ol>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Protection. The Office of Intellectual Property and Technology Transfer 
    shall investigate allegations of unauthorized use or copyright infringement 
    of University-owned and University-sponsored materials and shall recommend 
    appropriate action. If such action is started by the University, all costs 
    of such action shall be borne by the University. All proceeds in excess of 
    such costs shall be shared as provided in Subection F. (subject to sponsoring 
    agency limitations if a grant or contract is involved).</li>
	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Liability. When there are allegations of violation of personal or property 
    rights by the University, or by the author or producer of University-owned 
    or University-sponsored materials copyrighted by the University, the University 
    shall assume responsibility for the defense of any action and the satisfaction 
    of any judgment rendered against the University or the author or producer.</li>
</font></ol></li></ol>

<p><font font="" face="Arial, Helvetica, sans-serif" size="2"><a name="anchor3"></a><b>Section 3. Interpretation and Administration of Policy.</b></font></p>
<ol type="A">

<li><font font="" face="Arial, Helvetica, sans-serif" size="2">The President has designated the Vice Provost for Intellectual Property and 
  Technology Transfer as the officer of the University to administer, apply, and 
  interpret the provisions of this policy. The Vice Provost shall have the authority 
  to determine whether the facts of a given case merit special consideration.</font></li>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font><p></p>
<li><font font="" face="Arial, Helvetica, sans-serif" size="2">Committee. The President of the University will appoint an Intellectual Property 
Management Advisory Committee to review periodically the policy set forth in this 
statement and recommend such changes to the President as the Committee deems desirable. 
The Committee will also advise on broader intellectual property issues that arise 
in the promotion and protection of research. The Committee will report to the 
Vice Provost for Intellectual Property and Technology Transfer and consist of 
no fewer than five members, a majority of whom shall be chosen from the faculty. 
</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  </font></li><li><font font="" face="Arial, Helvetica, sans-serif" size="2">Distribution of Statement. When this statement becomes effective as University 
    policy, the President's office shall see that all departments and administrative 
    offices of the University are properly informed. Thereafter, the Vice Provost 
    for Intellectual Property and Technology Transfer shall remind deans and department 
    heads periodically of the existence of the policy, inform them about any significant 
    interpretations of the policy, and invite comments or questions regarding 
    it.</font></li>
<font font="" face="Arial, Helvetica, sans-serif" size="2">	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Duties of Vice Provost for Intellectual Property and Technology Transfer. 
    The Vice Provost for Intellectual Property and Technology Transfer shall manage 
    the Office of Intellectual Property and Technology Transfer, which will represent 
    the University in negotiating agreements with inventors, authors or producers, 
    or licensees pursuant to this policy. She or he may consult also with department 
    heads and the heads of production units involved in a specific technology 
    transfer transaction, and she or he shall sign or recommend all agreements 
    for signing consistent with delegated authority. Where copyright coverage 
    should be obtained on University-sponsored or University-owned materials, 
    the Office of Intellectual Property and Technology Transfer will facilitate 
    the copyright application. The faculty or staff member who is the author of 
    University-owned or University-sponsored materials shall execute a written 
    transfer of copyright to the University when necessary or appropriate.</li>
	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Inquiries on Status of Materials. Any faculty or staff member who has a 
    question as to whether or not particular materials will be considered University-owned 
    or University- sponsored should initiate an inquiry to the Office of Intellectual 
    Property and Technology Transfer as to their status. This inquiry, with all 
    relevant facts, should be forwarded via the author's department head. Thereafter, 
    the Vice Provost for Intellectual Property and Technology Transfer shall advise 
    the author or producer as promptly as possible as to whether or not it appears 
    that the materials should be regarded as University-owned or University-sponsored 
    within the meaning of this policy. The Vice Provost for Intellectual Property 
    and Technology Transfer's decision in such cases will be considered as an 
    advisory opinion subject to final clarification when the work is completed. 
    At that time, the faculty or staff member should either (1) indicate concurrence 
    in the original decision, or (2) request that the question of rights be submitted 
    for decision to the Vice Provost for Intellectual Property and Technology 
    Transfer. In the latter case, the decision of the Vice Provost will be final 
    unless the faculty or staff member requests arbitration of the question.</li>
	</font><p></p>
<font font="" face="Arial, Helvetica, sans-serif" size="2">  <li>Arbitration. In the event of any differences between faculty or staff members, 
    on the one hand, and the Vice Provost for Intellectual Property and Technology 
    Transfer, on the other hand, and when the questions cannot be reconciled by 
    direct negotiation, the matter shall be submitted for binding arbitration 
    either to a single arbitrator agreed on by all parties or to a special three-person 
    panel consisting of one person representing the faculty or staff member, one 
    person representing the University, and a third person designated by the first 
    two. Knowledgeable members of the University community will normally be chosen 
    for such panels in order to expedite a decision and minimize cost. In the 
    event costs are incurred, they shall be divided equally between the faculty/staff 
    member and the University. Decisions of the panel will be binding on both 
    parties. The panel shall have full access to any pertinent records over which 
    the faculty/staff member or the University has jurisdiction.</li>
</font></ol>
<p><font font="" face="Arial, Helvetica, sans-serif" size="2"><i>BR, March 1969; Executive Order No. 36 of the President, June 1, 1972; revised 
  October 3, 1977; September 26, 1983; September 21, 1992; May 2, 2000, December 
  20, 2000; October 27, 2003.</i></font></p>
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